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Industry Professional Contacts

General Inquiries

Additional Contacts

For more specific contact information, please visit the following pages.

FINRA Coordinator Program
FINRA has assigned a dedicated point of contact to each firm to address your questions on such topics as rules, filing deadlines and compliance resources.

FINRA Small Firm Helpline
A resource where small broker-dealer firms can get help identifying the appropriate FINRA contact for assistance, navigating FINRA’s systems, finding online resources or have general questions regarding deadlines/effective dates for rules.

FINRA Education & Programs
For more information about FINRA's educational programs and events in the U.S., or to register, please contact us via email or call (800) 321-6273.

Requests for Comments
FINRA provides various methods to respond to requests for comments via the Regulatory Notice process.

File a Regulatory Tip
A Regulatory Tip may be filed by industry members or professionals who are aware of instances of unfair practices, fraud, or abusive conduct involving brokers or brokerage firms.

Permission Requests
Individuals and organizations interested in using FINRA-copyrighted material must obtain permission from FINRA.

Office of the Ombudsman
The Ombudsman's Office provides a neutral and confidential forum for member firms and their employees, public investors and any other business or individual who interacts with FINRA to voice their concerns about operations, enforcement, or other FINRA activities or staff.